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HomeMy WebLinkAbout2018-12-18; City Council; ; Local Conflict of Interest Code UpdateCA Review wv u/ 1/� Oty <:1>u11ril, CmL.J,od .\fu11/01,a/ II i1t,r IJJ.>lrict, />11/>lu-l'il11111ri11_il ;\uJJwrl/y, ('mm111111i1y IJ<"t-,/opm,'lrl l :Om11w.,io11 mu/ ( ·;IJ' ( 0ll1Jllrtl 11.1 S11«e.,'-l>r, l.s:,·1uy 111 tlrt• Rt'rl,1·, k>1mr.11t. l,1,¥11<)' 9 JOINT MEETING Staff Report Meeting Date: To: From: Staff Contact: Subject: December 18, 2018 Mayor and City Council Scott Chadwick, City Manager Tammy McMinn, Deputy City Clerk tammy.mcminn@carlsbadca.gov or 760-434-2953 Local Conflict of Interest Code Update Recommended Action The following actions are recommended: •That the City Council adopt a resolution amending the Local Conflict of Interest Code of the City of Carlsbad (Exhibit 1}; and, •That the C�rlsbad Municipal Water District (CMWD) Board adopt a resolution amending the Local Conflict of Interest Code of the District (Exhibit 2); and, •That the Community Development Commission (CDC) adopt a resolution amending the Local Conflict of Interest Code of the Commission (Exhibit 3); and, •That the Public Financing Authority adopt a resolution amending the Local Conflict of Interest Code of the Authority (Exhibit 4). •That the City Council as Successor Agency to the Redevelopment Agency adopt a resolution amending the Local Conflict of Interest Code of the Authority (Exhibit 5). Executive Summary The Political Reform Act of 1974 requires agencies to amend their Local Conflict of Interest Code when employee positions are added, changed or deleted. In keeping with the Act, staff has prepared an updated Conflict of Interest Code incorporating the changes in designated positions that have been modified, added or deleted since the 2017 Code adoption. City Council approval of the changes is required by the Act. Discussion By agreement with the City of Carlsbad, the Carlsbad Municipal Water District, Community Development Commission, Carlsbad Public Financing Authority, and City Council as Successor Agency to the Redevelopment Agency have their services performed by city employees, and the city is reimbursed by the other legal entity for those costs. Accordingly, the Appendix to the Local Conflict of Interest Code lists positions of city employees who are designated for the purposes of disqualification and disclosure because their duties either for the City, or any of the other agencies, include making or participating in making decisions which foreseeably may have an effect on their financial interests. As provided in the Conflict of Interest Code, employees occupying positions so designated can expand their disclosure statements to cover reportable interests for both jurisdictions and file such expanded disclosure statements with the City Clerk, provided each copy of the expanded disclosure statement is signed and verified by the designated employee as if it were an original. December 18, 2018 Item #1 Page 1 of 60 Working with Human Resources and the City Attorney's office, staff has updated the Conflict of Interest Code to reflect all changes in positions since the 2017 adoption of the Code. A red-line strike-out version of all changes to the Code is attached as Exhibit 5 to this report. Fiscal Analysis There is no significant fiscal impact as a result of adoption of these resolutions. Next Steps The City Clerk will post the updated Appendix to the Conflict of Interest Code on the City's website. Environmental Evaluation (CEQA) Pursuant to Public Resources Code section 21065, this action does not constitute a "project" within the meaning of CEQA in that it has no potential to cause wither a direct physical change in the environment, or a reasonably foreseeable indirect physical change in the environment, and therefore does not require environmental review. Public Notification This item was noticed in accordance with the Ralph M. Brown Act and was available for public viewing and review at least 72 hours prior to the scheduled meeting date. Exhibits 1. City Council Resolution. 2. Carlsbad Municipal Water District (CMWD) Board Resolution. 3. Community Development Commission (CDC) Resolution. 4. Public Financing Authority Resolution. 5. City Council as Successor Agency to the Redevelopment Agency Resolution. 6. Red-line Strikeout Amended Appendix to the Local Conflict of Interest Code. December 18, 2018 Item #1 Page 2 of 60 and RESOLUTION NO. 2018-212 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD, CALIFORNIA AMENDING THE LOCAL CONFLICT OF INTEREST CODE OF THE CITY OF CARLSBAD Exhibit 1 WHEREAS, the city has previously adopted and amended its Local Conflict of Interest Code; WHEREAS, provisions of the Political Reform Act of 1974 ("the Act") (Government Code Section 81000 et seq.) require an amendment to said code due to changed circumstances, changed duties or new positions; and WHEREAS, the City Council is the code reviewing body within the meaning ofthe Act; and WHEREAS, the City Clerk has prepared amendments to the Appendix that are required to be incorporated in said code, NOW, THEREFORE, BE IT RESOLVED by the City of Carlsbad as follows: 1. That the above recitations are true and correct. 2. That the attached revised Conflict of Interest Code Appendix (Attachment A) for the combined City Council, City Council as Successor Agency of the Redevelopment Agency, Community Development Commission, Carlsbad Municipal Water District, and Carlsbad Public Financing Authority reflecting the changed circumstances in positions and disclosure categories since the last amendment, is hereby approved with regard to city employees providing services to the City of Carlsbad. December 18, 2018 Item #1 Page 3 of 60 PASSED, APPROVED AND ADOPTED at a Joint Special Meeting of the City Council of the City of Carlsbad, Carlsbad Municipal Water District, Community Development Commission, and Public Financing Authority, and City Council as Successor Agency to the Redevelopment Agency on the 18th day of December, 2018 by the following vote, to wit: AYES: M. Hall, K. Blackburn, P. Bhat-Patel, C. Schumacher, B. Hamilton. NOES: None. ABSENT: None. ATTEST: December 18, 2018 Item #1 Page 4 of 60 REVISED APPENDIX CITY OF CARLSBAD CONFLICT OF INTEREST CODE DESIGNATED POSITIONS General Provisions Attachment A When a designated employee or individual is required to disclose investments, business positions and sources of income, he or she need only disclose investments in business entities and sources of income which do business in the City, plan to do business in the City or have done business in the City within the past two (2) years. In addition to other activities, a business entity is doing business within the City if it owns real property within the City. When a designated employee or individual is required to disclose real property he or she need only disclose that which is located in whole or in part, within or not more than two (2) miles outside the boundaries of the City or within two (2) miles of any land owned or used by the City. Designated employees or individuals shall disclose their financial interest pursuant to the appropriate disclosure category as indicated in Exhibit "A". • All designated employees required to submit an initial Statement of Interest Form 700 shall file electronically including electronic signature with the City Clerk within thirty (30) days after the effective date of this resolution. Initial filings shall cover the period of the twelve {12) months prior to the date of the adoption of this Conflict of Interest Code. • All individuals appointed, promoted, or transferred to a designated position shall file statements within thirty {30) days of assuming office. These "assuming office" statements cover the period of the twelve {12) months prior to the date of assuming office statement. • When an individual is in an "interim or acting" capacity, they are subject to the same disclosure requirements ofthe position in which they are filling. An assuming office would be filed. • Annual statements shall be filed with the City Clerk by April 1 of each year by all designated employees, elected officials, committee/board/commission members or individuals. Such statements shall cover the period of the preceding calendar year. • Every designated employee who leaves office shall file, within thirty {30) days of leaving office, a statement disclosing financial interests held or received at any time during the period between the closing date of the last statement required to be filed and the date of leaving office. • Any individual serving in dual roles may file a combined statement by reporting according to their broadest range of disclosure. • Failure to file the required statement in a timely fashion may result in the imposition of administrative, criminal, and civil sanctions as provided in Government Code Sections 81000-91014. Resource: Title 2, California Code of Regulations, Section 18730 Provisions of Conflict of Interest Codes. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 5 of 60 Disclosure Categories Category 1: Category 2: Category 3: Category 4: Category 5: Category 6: Category 7: Unlimited Disclosures: Disclose all business entities and non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments located in Carlsbad, including property located within a two-mile radius of any property owned or used by the City of Carlsbad. All interests in real property within the jurisdiction of the City. All investments, business positions in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, interest in real property and sources of income subject to the regulatory, permit or licensing authority of the specific City department. All investments in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, and sources of income which engage in land development, construction or the acquisition of real property, and interests in real property located in Carlsbad, including property located within a two-mile radius of any property owned or used by the City of Carlsbad. All investments in business entities, non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments, and of the type which contracts with the City to provide services, supplies, materials, machinery or equipment to any City department. All investments in business entities and sources of income of the type which contracts with the City to provide to the designated employee's department services, supplies, materials, machinery or equipment to any City department. All investments, positions in business entities, income including gifts, loans and travel payments, and income from non-profit organizations, if the sources is the type that receives grants or other monies from or through the City. 87200 Category are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 of the Political Reform Act, Government Code sections 87200, et. seq. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 6 of 60 Consultants The staff person most knowledgeable of the work that a Consultant will be performing shall designate whether or not the Consultant must file a Statement of Economic Interest by marking the appropriate box on the Agreement or Contract cover sheet. When determined that a Consultant is designated and is responsible for disclosure, they shall be required to file a Statement of Economic Interest disclosing reportable interests subject to all disclosure categories. Consultants who make (not just recommend) governmental decisions, such as whether to approve a rate, rule, or regulation, whether to issue, deny, suspend, or revoke any permit, license, application, certificate or similar authorization, adopt or grant City approval to a plan, design, report, study, or adopt or grant City approval of policies, standards, or guidelines for the City or any subdivision thereof shall be required to disclose. Consultants who act in a staff capacity with the City, and in that capacity perform the same or substantially all the same duties for the City that would otherwise be performed by an individual holding a designated position in the City's Conflict of Interest Code, shall disclose at the same level as the comparable designated position identified. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 7 of 60 Exhibit A LIST OF DESIGNATED POSITIONS AND DISCLOSURE CATEGORIES Those with the designation of 87200 Filer are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 of the Political Reform Act, Government Code sections 87200, et. seq. DESIGNATED POSITIONS DISCLOSURE CATEGORIES Mayor and City Council Members (87200 Filer) Unlimited Disclosure City Treasurer {87200 Filer) Unlimited Disclosure City Manager (87200 Filer) Unlimited Disclosure City Attorney (87200 Filer) Unlimited Disclosure Chief Operations Officer (87200 Filer) Unlimited Disclosure Housing Commission Members {87200 Filer) Unlimited Disclosure Planning Commission Members (87200 Filer) Unlimited Disclosure Director of Administrative Services (87200 Filer) Unlimited Disclosure Finance Director {87200 Filer) Unlimited Disclosure Members of the Successor Agency of the Carlsbad Redevelopment Unlimited Disclosure Agency-Includes Chairman/Members, Executive Director, Counsel, Secretary (87200 Filer) Members of the Public Financing Authority-Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary, Treasurer (87200 Filer) Members of the Community Development Commission -Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary (87200 Filer) Members ofthe Carlsbad Municipal Water District Board of Unlimited Disclosure Directors -Includes Board Members, Counsel, Secretary (87200 Filer) ADMINISTRATIVE SERVICES (Finance, Human Resources, Information Technology) DESIGNATED POSITIONS Assistant Finance Director Human Resources Director Information Technology Director Accountant Accounting Supervisor Assistant to the Treasurer Associate Contract Administrator Business and Analytics Manager Business Intelligence Analyst Business Systems Specialist Buyer/Contract Administrator Finance Manager Finance/Payroll/IT Manager Geographic Information Systems Manager Human Resources Manager Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,5 1,2,5 1,2,5 2,3,4,5 2,3,4,6 2, 3,7 2,3,4,5,6 1,2,3,4 2,3,4 2,3,4,5,6 2,3,4,5, 6 1,2,3,5,7 1,2,5 1,2,6,7 1,2,3,5,6,7 December 18, 2018 Item #1 Page 8 of 60 Information Technology Manager 1,2,5,6,7 Information Technology Project Manager 1,2,5,6,7 Senior Management Analyst 1,2,5,6,7 Management Analyst 1,2,6,7 Information Technology Operations Manager 1,2,5,6,7 Project Portfolio Manager 1,2,3,5,6,7 Risk Manager 1,2,3,5,6 Senior Accountant 1,2,4,5 Senior Applications Analyst 2,3,4,5,6 Senior Contract Administrator 2,3,6 Senior Network Engineer 2,3,4,5,6 Senior Program Manager 1,2,5 Senior System Administrator 2,3,4,5,6 COMMUNITY AND ECONOMIC DEVELOPMENT (Housing and Neighborhood services) DESIGNATED POSITIONS Assistant Engineer Associate Engineer Assistant Planner Associate Planner Building Official Building Inspector 1/11 City Planner Code Enforcement Officer 1/11 Community and Economic Development Director Community Relations Manager Development Services Manager Engineering Manager Economic Development Manager Housing and Neighborhood Services Director Management Analyst Principal Planner Senior Building Inspector Senior Code Enforcement Officer Senior Engineer Senior Management Analyst Senior Planner Senior Program Manager Special Projects Manager Zoning Enforcement Officer Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 3,4 3,4 3,4 3,4 1,2,3,4 2,3,4 1,2,3,4,6 2,3 1,2,3,4,6, 7 2,4 1,2,3,4 1,2,3,4,5,6 1,2,3,4,6, 7 1,2,3,4,6, 7 1,2,6,7 1,2,3,4,7 2,3,4 1,2,3,4 1,2,3,4,5,6 1,2,6,7 1,2,3,4,7 1,2,3 1,2,3,4,6, 7 1,2,3,4 December 18, 2018 Item #1 Page 9 of 60 LEGISLATIVE SERVICES DESIGNATED POSITIONS Assistant City Manager Chief Innovation Officer City Clerk City Clerk Services Manager Assistant to the City Manager Records Supervisor City Communications Manager Graphic Production Supervisor Community Relations Manager Real Estate Manager Senior Assistant City Attorney Assistant City Attorney Deputy City Attorney LIBRARY AND CULTURAL ARTS DESIGNATED POSITIONS Library and Cultural Arts Director Community Arts Coordinator Community Relations Manager Cultural Arts Manager Deputy Library Director Senior Management Analyst Associate Management Analyst Principal Librarian PARKS AND RECREATION DESIGNATED POSITIONS Parks and Recreation Director Senior Management Analyst Management Analyst Park Planning Manager Park Planner Parks/Trees Supervisor Parks Services Manager Parks Superintendent Recreation Area Manager Recreation Services Manager Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,4 1,2,3,4,5,6, 7 1,2,6 1,2,6 1 2,3 1,2,3,4 2,3,4 2,3,4,6 1,2,6 1,2,3,4,5 1,2,3,4,5 1,2,3,4,5,6 DISCLOSURE CATEGORIES 1,2,6,7 2,4 2,3,4,6 1,2,4,6,7 1,2,6,7 1,2,6,7 1,2,6,7 1,6 DISCLOSURE CATEGORIES 1,2,3,4,6, 7 1,2,6,7 1,2,6,7 1,2,3,4,6 1,2,3,4,6 1,2,3 1,2,3,4,6 1,2,3,4,6 1,2,3 1,2,3,4,6 December 18, 2018 Item #1 Page 10 of 60 PUBLIC WORKS (Transportation, Utilities, Property and Environmental Management and Water District) DESIGNATED POSITIONS Public Works Director Transportation Director Utilities Director Associate Contract Administrator Associate Engineer Engineering Manager Senior Program Manager Contract Administrator Environmental Manager Environmental Specialist I/II/Senior Facilities Manager Senior Management Analyst Management Analyst Meter Services Supervisor Municipal Projects Manager Inspector 1/11 Public Works Manager Public Works Superintendent Public Works Supervisor Senior Construction Inspector Senior Contract Administrator Senior Engineer Transportation Manager Utilities Asset Manager Utilities Maintenance Planner Utilities Manager Utilities Supervisor Warehouse Technician Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,3,4,6, 7 1,2,3,4,5,6,7 1,2,3,4,6, 7 2,3,6 3,4 1,2,3,4,5,6 1,2,3,6,7 2,3,6 1,2,3,6,7 1,5,6 1,2,3,4,5,6 1,2,5,6,7 1,2,6,7 2,3,4 1,2,3,4 2,3,4 1,2,3,4,5,6 1,2,3,4,6 2,3,4,6 2,3,4 2,3,6 1,2,3,4,5,6 1,2,3,4,5,6 1,2,3,4,6 1,2,3,4 1,2,3,4,5,6 2,3,4 2,3,6 December 18, 2018 Item #1 Page 11 of 60 SAFETY SERVICES -FIRE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Fire Chief 1,2,3,4,6, 7 Assistant Fire Chief 1,2,3,4,6, 7 Assistant Fire Marshal 2,3 Deputy Fire Marshall 2,3 Emergency Medical Services (EMS) Manager 1,2,3,4,5,6 Emergency Preparedness Manager 1,2,3,4,7 Fire Division Chief 1,2,3,5,6,7 Fire Battalion Chief 1,2,3,5,6,7 Fire Marshal 1,2,3,4,5,7 Fire Prevention Specialist 1/11 2,3,4 SAFETY SERVICES -POLICE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Police Chief 1,2,6,7 Police Captain 1,2,3,6 Police Communications Manager 2,3 Police Lieutenant 1,2,3,6 Public Safety Information Technology Manager 1,2,5,6,7 Senior Program Manager 2,3 BOARDS/COMMISSIONS/COMMITTEES (Members of Designated Appointed Positions) DESIGNATED POSITIONS Agricultural Conversion Mitigation Fee Ad Hoc Citizens Advisory Committee Arts Commission Beach Preservation Commission Board of Library Trustees Carlsbad Golf Lodging Business Improvement District Carlsbad Tourism Business Improvement District Historic Preservation Commission Parks and Recreation Commission Senior Commission Traffic Safety Commission Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 3,4 3,4,6 3,4,6 3,4,6 3,4 3,4 3,4,6 1,2,3,4,6 3,4,6 3,4 December 18, 2018 Item #1 Page 12 of 60 and RESOLUTION NO. 1609 A RESOLUTION OF THE CARLSBAD MUNICIPAL WATER DISTRICT BOARD OF DIRECTORS, CARLSBAD, CALIFORNIA, AMENDING THE LOCAL CONFLICT OF INTEREST CODE OF THE CARLSBAD MUNICIPAL WATER DISTRICT Exhibit 2 WHEREAS, the city has previously adopted and amended its Local Conflict of Interest Code; WHEREAS, provisions of the Political Reform Act of 1974 ("the Act") (Government Code Section 81000 et seq.) require an amendment to said code due to changed circumstances, changed duties or new positions; and WHEREAS, the City Council is the code reviewing body within the meaning of the Act; and WHEREAS, the City Clerk has prepared amendments to the Appendix that are required to be incorporated in said code, NOW, THEREFORE, BE IT RESOLVED by the City of Carlsbad as follows: 1. That the above recitations are true and correct. 2. That the attached revised Conflict of Interest Code Appendix (Attachment A) for the combined City Council, City Council as Successor Agency of the Redevelopment Agency, Community Development Commission, Carlsbad Municipal Water District, and Carlsbad Public Financing Authority reflecting the changed circumstances in positions and disclosure categories since the last amendment, is hereby approved with regard to city employees providing services to the City of Carlsbad. December 18, 2018 Item #1 Page 13 of 60 PASSED, APPROVED AND ADOPTED at a Joint Special Meeting of the City Council of the City of Carlsbad, Carlsbad Municipal Water District, Community Development Commission, and Public Financing Authority, and City Council as Successor Agency to the Redevelopment Agency on the 18th day of December, 2018 by the following vote, to wit: AYES: M. Hall, K. Blackburn, P. Bhat-Patel, C. Schumacher, B. Hamilton. NOES: None. ABSENT: None. (SEAL) December 18, 2018 Item #1 Page 14 of 60 REVISED APPENDIX CITY OF CARLSBAD CONFLICT OF INTEREST CODE DESIGNATED POSITIONS General Provisions Attachment A When a designated employee or individual is required to disclose investments, business positions and sources of income, he or she need only disclose investments in business entities and sources of income which do business in the City, plan to do business in the City or have done business in the City within the past two (2) years. In addition to other activities, a business entity is doing business within the City if it owns real property within the City. When a designated employee or individual is required to disclose real property he or she need only disclose that which is located in whole or in part, within or not more than two (2) miles outside the boundaries of the City or within two (2) miles of any land owned or used by the City. Designated employees or individuals shall disclose their financial interest pursuant to the appropriate disclosure category as indicated in Exhibit "A". • All designated employees required to submit an initial Statement of Interest Form 700 shall file electronically including electronic signature with the City Clerk within thirty (30) days after the effective date of this resolution. Initial filings shall cover the period of the twelve {12) months prior to the date of the adoption of this Conflict of Interest Code. • All individuals appointed, promoted, or transferred to a designated position shall file statements within thirty {30) days of assuming office. These "assuming office" statements cover the period of the twelve {12) months prior to the date of assuming office statement. • When an individual is in an "interim or acting" capacity, they are subject to the same disclosure requirements ofthe position in which they are filling. An assuming office would be filed. • Annual statements shall be filed with the City Clerk by April 1 of each year by all designated employees, elected officials, committee/board/commission members or individuals. Such statements shall cover the period of the preceding calendar year. • Every designated employee who leaves office shall file, within thirty {30) days of leaving office, a statement disclosing financial interests held or received at any time during the period between the closing date of the last statement required to be filed and the date of leaving office. • Any individual serving in dual roles may file a combined statement by reporting according to their broadest range of disclosure. • Failure to file the required statement in a timely fashion may result in the imposition of administrative, criminal, and civil sanctions as provided in Government Code Sections 81000-91014. Resource: Title 2, California Code of Regulations, Section 18730 Provisions of Conflict of Interest Codes. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 15 of 60 Disclosure Categories Category 1: Category 2: Category 3: Category 4: Category 5: Category 6: Category 7: Unlimited Disclosures: Disclose all business entities and non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments located in Carlsbad, including property located within a two-mile radius of any property owned or used by the City of Carlsbad. All interests in real property within the jurisdiction of the City. All investments, business positions in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, interest in real property and sources of income subject to the regulatory, permit or licensing authority of the specific City department. All investments in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, and sources of income which engage in land development, construction or the acquisition of real property, and interests in real property located in Carlsbad, including property located within a two-mile radius of any property owned or used by the City of Carlsbad. All investments in business entities, non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments, and of the type which contracts with the City to provide services, supplies, materials, machinery or equipment to any City department. All investments in business entities and sources of income of the type which contracts with the City to provide to the designated employee's department services, supplies, materials, machinery or equipment to any City department. All investments, positions in business entities, income including gifts, loans and travel payments, and income from non-profit organizations, if the sources is the type that receives grants or other monies from or through the City. 87200 Category are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 of the Political Reform Act, Government Code sections 87200, et. seq. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 16 of 60 Consultants The staff person most knowledgeable of the work that a Consultant will be performing shall designate whether or not the Consultant must file a Statement of Economic Interest by marking the appropriate box on the Agreement or Contract cover sheet. When determined that a Consultant is designated and is responsible for disclosure, they shall be required to file a Statement of Economic Interest disclosing reportable interests subject to all disclosure categories. Consultants who make (not just recommend) governmental decisions, such as whether to approve a rate, rule, or regulation, whether to issue, deny, suspend, or revoke any permit, license, application, certificate or similar authorization, adopt or grant City approval to a plan, design, report, study, or adopt or grant City approval of policies, standards, or guidelines for the City or any subdivision thereof shall be required to disclose. Consultants who act in a staff capacity with the City, and in that capacity perform the same or substantially all the same duties for the City that would otherwise be performed by an individual holding a designated position in the City's Conflict of Interest Code, shall disclose at the same level as the comparable designated position identified. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 17 of 60 Exhibit A LIST OF DESIGNATED POSITIONS AND DISCLOSURE CATEGORIES Those with the designation of 87200 Filer are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 of the Political Reform Act, Government Code sections 87200, et. seq. DESIGNATED POSITIONS DISCLOSURE CATEGORIES Mayor and City Council Members (87200 Filer) Unlimited Disclosure City Treasurer (87200 Filer) Unlimited Disclosure City Manager (87200 Filer) Unlimited Disclosure City Attorney (87200 Filer) Unlimited Disclosure Chief Operations Officer (87200 Filer) Unlimited Disclosure Housing Commission Members (87200 Filer) Unlimited Disclosure Planning Commission Members (87200 Filer) Unlimited Disclosure Director of Administrative Services (87200 Filer) Unlimited Disclosure Finance Director (87200 Filer) Unlimited Disclosure Members of the Successor Agency of the Carlsbad Redevelopment Unlimited Disclosure Agency-Includes Chairman/Members, Executive Director, Counsel, Secretary (87200 Filer) Members of the Public Financing Authority-Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary, Treasurer (87200 Filer) Members of the Community Development Commission -Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary (87200 Filer) Members of the Carlsbad Municipal Water District Board of Unlimited Disclosure Directors -Includes Board Members, Counsel, Secretary (87200 Filer) ADMINISTRATIVE SERVICES (Finance, Human Resources, Information Technology) DESIGNATED POSITIONS Assistant Finance Director Human Resources Director Information Technology Director Accountant Accounting Supervisor Assistant to the Treasurer Associate Contract Administrator Business and Analytics Manager Business Intelligence Analyst Business Systems Specialist Buyer/Contract Administrator Finance Manager Finance/Payroll/IT Manager Geographic Information Systems Manager Human Resources Manager Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,5 1,2,5 1,2,5 2,3,4,5 2,3,4,6 2, 3,7 2,3,4,5,6 1,2,3,4 2,3,4 2,3,4,5,6 2,3,4,5, 6 1,2,3,5,7 1,2,5 1,2,6,7 1,2,3,5,6,7 December 18, 2018 Item #1 Page 18 of 60 Information Technology Manager 1,2,5,6,7 Information Technology Project Manager 1,2,5,6,7 Senior Management Analyst 1,2,5,6,7 Management Analyst 1,2,6,7 Information Technology Operations Manager 1,2,5,6,7 Project Portfolio Manager 1,2,3,5,6,7 Risk Manager 1,2,3,5,6 Senior Accountant 1,2,4,5 Senior Applications Analyst 2,3,4,5,6 Senior Contract Administrator 2,3,6 Senior Network Engineer 2,3,4,5,6 Senior Program Manager 1,2,5 Senior System Administrator 2,3,4,5,6 COMMUNITY AND ECONOMIC DEVELOPMENT (Housing and Neighborhood services) DESIGNATED POSITIONS Assistant Engineer Associate Engineer Assistant Planner Associate Planner Building Official Building Inspector 1/11 City Planner Code Enforcement Officer 1/11 Community and Economic Development Director Community Relations Manager Development Services Manager Engineering Manager Economic Development Manager Housing and Neighborhood Services Director Management Analyst Principal Planner Senior Building Inspector Senior Code Enforcement Officer Senior Engineer Senior Management Analyst Senior Planner Senior Program Manager Special Projects Manager Zoning Enforcement Officer Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 3,4 3,4 3,4 3,4 1,2,3,4 2,3,4 1,2,3,4,6 2,3 1,2,3,4,6, 7 2,4 1,2,3,4 1,2,3,4,5,6 1,2,3,4,6, 7 1,2,3,4,6,7 1,2,6,7 1,2,3,4,7 2,3,4 1,2,3,4 1,2,3,4,5,6 1,2,6,7 1,2,3,4,7 1,2,3 1,2,3,4,6, 7 1,2,3,4 December 18, 2018 Item #1 Page 19 of 60 LEGISLATIVE SERVICES DESIGNATED POSITIONS Assistant City Manager Chief Innovation Officer City Clerk City Clerk Services Manager Assistant to the City Manager Records Supervisor City Communications Manager Graphic Production Supervisor Community Relations Manager Real Estate Manager Senior Assistant City Attorney Assistant City Attorney Deputy City Attorney LIBRARY AND CULTURAL ARTS DESIGNATED POSITIONS Library and Cultural Arts Director Community Arts Coordinator Community Relations Manager Cultural Arts Manager Deputy Library Director Senior Management Analyst Associate Management Analyst Principal Librarian PARKS AND RECREATION DESIGNATED POSITIONS ' Parks and Recreation Director Senior Management Analyst Management Analyst Park Planning Manager Park Planner Parks/Trees Supervisor Parks Services Manager Parks Superintendent Recreation Area Manager Recreation Services Manager Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,4 1,2,3,4,5,6, 7 1,2,6 1,2,6 1 2,3 1,2,3,4 2,3,4 2,3,4,6 1,2,6 1,2,3,4,5 1,2,3,4,5 1,2,3,4,5,6 DISCLOSURE CATEGORIES 1,2,6,7 2,4 2,3,4,6 1,2,4,6,7 1,2,6,7 1,2,6,7 1,2,6,7 1,6 DISCLOSURE CATEGORIES 1,2,3,4,6, 7 1,2,6,7 1,2,6,7 1,2,3,4,6 1,2,3,4,6 1,2,3 1,2,3,4,6 1,2,3,4,6 1,2,3 1,2,3,4,6 December 18, 2018 Item #1 Page 20 of 60 PUBLIC WORKS (Transportation, Utilities, Property and Environmental Management and Water District) DESIGNATED POSITIONS Public Works Director Transportation Director Utilities Director Associate Contract Administrator Associate Engineer Engineering Manager Senior Program Manager Contract Administrator Environmental Manager Environmental Specialist I/II/Senior Facilities Manager Senior Management Analyst Management Analyst Meter Services Supervisor Municipal Projects Manager Inspector 1/11 Public Works Manager Public Works Superintendent Public Works Supervisor Senior Construction Inspector Senior Contract Administrator Senior Engineer Transportation Manager Utilities Asset Manager Utilities Maintenance Planner Utilities Manager Utilities Supervisor Warehouse Technician Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,3,4,6, 7 1,2,3,4,5,6,7 1,2,3,4,6, 7 2,3,6 3,4 1,2,3,4,5,6 1,2,3,6,7 2,3,6 1,2,3,6,7 1,5,6 1,2,3,4,5,6 1,2,5,6,7 1,2,6,7 2,3,4 1,2,3,4 2,3,4 1,2,3,4,5,6 1,2,3,4,6 2,3,4,6 2,3,4 2,3,6 1,2,3,4,5,6 1,2,3,4,5,6 1,2,3,4,6 1,2,3,4 1,2,3,4,5,6 2,3,4 2,3,6 December 18, 2018 Item #1 Page 21 of 60 SAFETY SERVICES -FIRE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Fire Chief 1,2,3,4,6, 7 Assistant Fire Chief 1,2,3,4,6, 7 Assistant Fire Marshal 2,3 Deputy Fire Marshall 2,3 Emergency Medical Services (EMS) Manager 1,2,3,4,5,6 Emergency Preparedness Manager 1,2,3,4,7 Fire Division Chief 1,2,3,5,6,7 Fire Battalion Chief 1,2,3,5,6,7 Fire Marshal 1,2,3,4,5, 7 Fire Prevention Specialist 1/11 2,3,4 SAFETY SERVICES -POLICE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Police Chief 1,2,6,7 Police Captain 1,2,3,6 Police Communications Manager 2,3 Police Lieutenant 1,2,3,6 Public Safety Information Technology Manager 1,2,5,6,7 Senior Program Manager 2,3 BOARDS/COMMISSIONS/COMMITTEES (Members of Designated Appointed Positions) DESIGNATED POSITIONS Agricultural Conversion Mitigation Fee Ad Hoc Citizens Advisory Committee Arts Commission Beach Preservation Commission Board of Library Trustees Carlsbad Golf Lodging Business Improvement District Carlsbad Tourism Business Improvement District Historic Preservation Commission Parks and Recreation Commission Senior Commission Traffic Safety Commission Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 3,4 3,4,6 3,4,6 3,4,6 3,4 3,4 3,4,6 1,2,3,4,6 3,4,6 3,4 December 18, 2018 Item #1 Page 22 of 60 and RESOLUTION NO. 543 A RESOLUTION OF THE CARLSBAD COMMUNITY DEVELOPMENT COMMISSION, CARLSBAD, CALIFORNIA, AMENDING THE LOCAL CONFLICT OF INTEREST CODE OF THE CARLSBAD COMMUNITY DEVELOPMENT COMMISSION Exhibit 3 WHEREAS, the city has previously adopted and amended its Local Conflict of Interest Code; WHEREAS, provisions of the Political Reform Act of 1974 ("the Act") (Government Code Section 81000 et seq.) require an amendment to said code due to changed circumstances, changed duties or new positions; and WHEREAS, the City Council is the code reviewing body within the meaning of the Act; and WHEREAS, the City Clerk has prepared amendments to the Appendix that are required to be incorporated in said code, NOW, THEREFORE, BE IT RESOLVED by the City of Carlsbad as follows: 1. That the above recitations are true and correct. 2. That the attached revised Conflict of Interest Code Appendix (Attachment A) for the combined City Council, City Council as Successor Agency of the Redevelopment Agency, Community Development Commission, Carlsbad Municipal Water District, and Carlsbad Public Financing Authority reflecting the changed circumstances in positions and disclosure categories since the last amendment, is hereby approved with regard to city employees providing services to the City of Carlsbad. December 18, 2018 Item #1 Page 23 of 60 PASSED, APPROVED AND ADOPTED at a Joint Special Meeting of the City Council of the City of Carlsbad, Carlsbad Municipal Water District, Community Development Commission, and Public Financing Authority, and City Council as Successor Agency to the Redevelopment Agency on the 18th day of December, 2018 by the following vote, to wit: AYES: NOES: ABSENT: M. Hall, K. Blackburn, P. Bhat-Patel, C. Schumacher, B. Hamilton. None. None. (SEAL) December 18, 2018 Item #1 Page 24 of 60 REVISED APPENDIX CITY OF CARLSBAD CONFLICT OF INTEREST CODE DESIGNATED POSITIONS General Provisions Attachment A When a designated employee or individual is required to disclose investments, business positions and sources of income, he or she need only disclose investments in business entities and sources of income which do business in the City, plan to do business in the City or have done business in the City within the past two (2) years. In addition to other activities, a business entity is doing business within the City if it owns real property within the City. When a designated employee or individual is required to disclose real property he or she need only disclose that which is located in whole or in part, within or not more than two (2) miles outside the boundaries of the City or within two (2) miles of any land owned or used by the City. Designated employees or individuals shall disclose their financial interest pursuant to the appropriate disclosure category as indicated in Exhibit "A". • All designated employees required to submit an initial Statement of Interest Form 700 shall file electronically including electronic signature with the City Clerk within thirty (30) days after the effective date of this resolution. Initial filings shall cover the period of the twelve (12) months prior to the date of the adoption of this Conflict of Interest Code. • All individuals appointed, promoted, or transferred to a designated position shall file statements within thirty (30) days of assuming office. These "assuming office" statements cover the period of the twelve (12) months prior to the date of assuming office statement. • When an individual is in an "interim or acting" capacity, they are subject to the same disclosure requirements of the position in which they are filling. An assuming office would be filed. • Annual statements shall be filed with the City Clerk by April 1 of each year by all designated employees, elected officials, committee/board/commission members or individuals. Such statements shall cover the period of the preceding calendar year. • Every designated employee who leaves office shall file, within thirty (30) days of leaving office, a statement disclosing financial interests held or received at any time during the period between the closing date of the last statement required to be filed and the date of leaving office. • Any individual serving in dual roles may file a combined statement by reporting according to their broadest range of disclosure. • Failure to file the required statement in a timely fashion may result in the imposition of administrative, criminal, and civil sanctions as provided in Government Code Sections 81000-91014. Resource: Title 2, California Code of Regulations, Section 18730 Provisions of Conflict of Interest Codes. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 25 of 60 Disclosure Categories Category 1: Category 2: Category 3: Category 4: Category 5: Category 6: Category 7: Unlimited Disclosures: Disclose all business entities and non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments located in Carlsbad, including property locaied within a two-mile radius of any property owned or used by the City of Carlsbad. All interests in real property within the jurisdiction of the City. All investments, business positions in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, interest in real property and sources of income subject to the regulatory, permit or licensing authority of the specific City department. All investments in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, and sources of income which engage in land development, construction or the acquisition of real property, and interests in real property located in Carlsbad, including property located within a two-mile radius of any property owned or used by the City of Carlsbad. All investments in business entities, non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments, and of the type which contracts with the City to provide services, supplies, materials, machinery or equipment to any City department. All investments in business entities and sources of income of the type which contracts with the City to provide to the designated employee's department services, supplies, materials, machinery or equipment to any City department. All investments, positions in business entities, income including gifts, loans and travel payments, and income from non-profit organizations, if the sources is the type that receives grants or other monies from or through the City. 87200 Category are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 of the Political Reform Act, Government Code sections 87200, et. seq. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 26 of 60 Consultants The staff person most knowledgeable of the work that a Consultant will be performing shall designate whether or not the Consultant must file a Statement of Economic Interest by marking the appropriate box on the Agreement or Contract cover sheet. When determined that a Consultant is designated and is responsible for disclosure, they shall be required to file a Statement of Economic Interest disclosing reportable interests subject to all disclosure categories. Consultants who make (not just recommend) governmental decisions, such as whether to approve a rate, rule, or regulation, whether to issue, deny, suspend, or revoke any permit, license, application, certificate or similar authorization, adopt or grant City approval to a plan, design, report, study, or adopt or grant City approval of policies, standards, or guidelines for the City or any subdivision thereof shall be required to disclose. Consultants who act in a staff capacity with the City, and in that capacity perform the same or substantially all the same duties for the City that would otherwise be performed by an individual holding a designated position in the City's Conflict of Interest Code, shall disclose at the same level as the comparable designated position identified. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 27 of 60 Exhibit A LIST OF DESIGNATED POSITIONS AND DISCLOSURE CATEGORIES Those with the designation of 87200 Filer are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 of the Political Reform Act, Government Code sections 87200, et. seq. DESIGNATED POSITIONS DISCLOSURE CATEGORIES Mayor and City Council Members {87200 Filer) Unlimited Disclosure City Treasurer {87200 Filer) Unlimited Disclosure City Manager {87200 Filer) Unlimited Disclosure City Attorney {87200 Filer) Unlimited Disclosure Chief Operations Officer {87200 Filer) Unlimited Disclosure Housing Commission Members {87200 Filer) Unlimited Disclosure Planning Commission Members {87200 Filer) Unlimited Disclosure Director of Administrative Services (87200 Filer) Unlimited Disclosure Finance Director {87200 Filer) Unlimited Disclosure Members of the Successor Agency ofthe Carlsbad Redevelopment Unlimited Disclosure Agency -Includes Chairman/Members, Executive Director, Counsel, Secretary {87200 Filer) Members of the Public Financing Authority-Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary, Treasurer {87200 Filer) Members ofthe Community Development Commission -Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary {87200 Filer) Members of the Carlsbad Municipal Water District Board of Unlimited Disclosure Directors -Includes Board Members, Counsel, Secretary (87200 Filer) ADMINISTRATIVE SERVICES (Finance, Human Resources, Information Technology) DESIGNATED POSITIONS Assistant Finance Director Human Resources Director Information Technology Director Accountant Accounting Supervisor Assistant to the Treasurer Associate Contract Administrator Business and Analytics Manager Business Intelligence Analyst Business Systems Specialist Buyer/Contract Administrator Finance Manager Finance/Payroll/IT Manager Geographic Information Systems Manager Human Resources Manager Carlsbad Local Conflict of Interest Code December 18, 2018 - DISCLOSURE CATEGORIES 1,2,5 1,2,5 1,2,5 2,3,4,5 2,3,4,6 2, 3,7 2,3,4,5,6 1,2,3,4 2,3,4 2,3,4,5,6 2,3,4,5, 6 1,2,3,5,7 1,2,5 1,2,6,7 1,2,3,5,6,7 December 18, 2018 Item #1 Page 28 of 60 Information Technology Manager 1,2,5,6,7 Information Technology Project Manager 1,2,5,6,7 Senior Management Analyst 1,2,5,6,7 Management Analyst 1,2,6,7 Information Technology Operations Manager 1,2,5,6,7 Project Portfolio Manager 1,2,3,5,6,7 Risk Manager 1,2,3,5,6 Senior Accountant 1,2,4,5 Senior Applications Analyst 2,3,4,5,6 Senior Contract Administrator 2,3,6 Senior Network Engineer 2,3,4,5,6 Senior Program Manager 1,2,5 Senior System Administrator 2,3,4,5,6 COMMUNITY AND ECONOMIC DEVELOPMENT (Housing and Neighborhood Services) DESIGNATED POSITIONS Assistant Engineer Associate Engineer Assistant Planner Associate Planner Building Official Building Inspector 1/11 City Planner Code Enforcement Officer 1/11 Community and Economic Development Director Community Relations Manager Development Services Manager Engineering Manager Economic Development Manager Housing and Neighborhood Services Director Management Analyst Principal Planner Senior Building Inspector Senior Code Enforcement Officer Senior Engineer Senior Management Analyst Senior Planner Senior Program Manager Special Projects Manager Zoning Enforcement Officer Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE , CATEGORIES 3,4 3,4 3,4 3,4 1,2,3,4 2,3,4 1,2,3,4,6 2,3 1,2,3,4,6, 7 2,4 1,2,3,4 1,2,3,4,5,6 1,2,3,4,6, 7 1,2,3,4,6, 7 1,2,6,7 1,2,3,4,7 2,3,4 1,2,3,4 1,2,3,4,5,6 1,2,6,7 1,2,3,4,7 1,2,3 1,2,3,4,6,7 1,2,3,4 December 18, 2018 Item #1 Page 29 of 60 LEGISLATIVE SERVICES DESIGNATED POSITIONS Assistant City Manager Chief Innovation Officer City Clerk City Clerk Services Manager Assistant to the City Manager Records Supervisor City Communications Manager Graphic Production Supervisor Community Relations Manager Real Estate Manager Senior Assistant City Attorney Assistant City Attorney Deputy City Attorney LIBRARY AND CULTURAL ARTS DESIGNATED POSITIONS Library and Cultural Arts Director Community Arts Coordinator Community Relations Manager Cultural Arts Manager Deputy Library Director Senior Management Analyst Associate Management Analyst Principal Librarian PARKS AND RECREATION DESIGNATED POSITIONS Parks and Recreation Director Senior Management Analyst Management Analyst Park Planning Manager Park Planner Parks/Trees Supervisor Parks Services Manager Parks Superintendent Recreation Area Manager Recreation Services Manager Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,4 1,2,3,4,5,6,7 1,2,6 1,2,6 1 2,3 1,2,3,4 2,3,4 2,3,4,6 1,2,6 1,2, 3,4,5 1,2,3,4,5 1,2,3,4,5,6 DISCLOSURE CATEGORIES 1,2,6,7 2,4 2,3,4,6 1,2,4,6,7 1,2,6,7 1,2,6,7 1,2,6,7 1,6 DISCLOSURE CATEGORIES 1,2,3,4,6, 7 1,2,6,7 1,2,6,7 1,2,3,4,6 1,2,3,4,6 1,2,3 1,2,3,4,6 1,2,3,4,6 1,2,3 1,2,3,4,6 December 18, 2018 Item #1 Page 30 of 60 PUBLIC WORKS (Transportation, Utilities, Property and Environmental Management and Water District) DESIGNATED POSITIONS Public Works Director Transportation Director Utilities Director Associate Contract Administrator Associate Engineer Engineering Manager Senior Program Manager Contract Administrator Environmental Manager Environmental Specialist I/II/Senior Facilities Manager Senior Management Analyst Management Analyst Meter Services Supervisor Municipal Projects Manager Inspector 1/11 Public Works Manager Public Works Superintendent Public Works Supervisor Senior Construction Inspector Senior Contract Administrator Senior Engineer Transportation Manager Utilities Asset Manager Utilities Maintenance Planner Utilities Manager Utilities Supervisor Warehouse Technician Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,3,4,6,7 1,2,3,4,5,6, 7 1,2,3,4,6, 7 2,3,6 3,4 1,2,3,4,5,6 1,2,3,6,7 2,3,6 1,2,3,6,7 1,5,6 1,2,3,4,5,6 1,2,5,6,7 1,2,6,7 2,3,4 1,2,3,4 2,3,4 1,2,3,4,5,6 1,2,3,4,6 2,3,4,6 2,3,4 2,3,6 1,2,3,4,5,6 1,2,3,4,5,6 1,2,3,4,6 1,2,3,4 1,2,3,4,5,6 2,3,4 2,3,6 December 18, 2018 Item #1 Page 31 of 60 SAFETY SERVICES-FIRE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Fire Chief 1,2,3,4,6, 7 Assistant Fire Chief 1,2,3,4,6, 7 Assistant Fire Marshal 2,3 Deputy Fire Marshall 2,3 Emergency Medical Services {EMS) Manager 1,2,3,4,5,6 Emergency Preparedness Manager 1,2,3,4,7 Fire Division Chief 1,2,3,5,6,7 Fire Battalion Chief 1,2,3,5,6,7 Fire Marshal 1,2,3,4,5,7 Fire Prevention Specialist 1/11 2,3,4 SAFETY SERVICES -POLICE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Police Chief 1,2,6,7 Police Captain 1,2,3,6 Police Communications Manager 2,3 Police Lieutenant 1,2,3,6 Public Safety Information Technology Manager 1,2,5,6,7 Senior Program Manager 2,3 BOARDS/COMMISSIONS/COMMITTEES (Members of Designated Appointed Positions) DESIGNATED POSITIONS Agricultural Conversion Mitigation Fee Ad Hoc Citizens Advisory Committee Arts Commission Beach Preservation Commission Board of Library Trustees Carlsbad Golf Lodging Business Improvement District Carlsbad Tourism Business Improvement District Historic Preservation Commission Parks and Recreation Commission Senior Commission Traffic Safety Commission Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 3,4 3,4,6 3,4,6 3,4,6 3,4 3,4 3,4,6 1,2,3,4,6 3,4,6 3,4 December 18, 2018 Item #1 Page 32 of 60 and RESOLUTION NO. 76 A RESOLUTION OF THE CARLSBAD PUBLIC FINANCING AUTHORITY, CARLSBAD, CALIFORNIA, AMENDING THE LOCAL CONFLICT OF INTEREST CODE OF THE CARLSBAD PUBLIC FINANCING AUTHORITY Exhibit 4 WHEREAS, the city has previously adopted and amended its Local Conflict of Interest Code; WHEREAS, provisions of the Political Reform Act of 1974 ("the Act") (Government Code Section 81000 et seq.) require an amendment to said code due to changed circumstances, changed duties or new positions; and WHEREAS, the City Council is the code reviewing body within the meaning of the Act; and WHEREAS, the City Clerk has prepared amendments to the Appendix that are required to be incorporated in said code, NOW, THEREFORE, BE IT RESOLVED by the City of Carlsbad as follows: 1. That the above recitations are true and correct. 2. That the attached revised Conflict of Interest Code Appendix (Attachment A) for the combined City Council, City Council as Successor Agency of the Redevelopment Agency, Community Development Commission, Carlsbad Municipal Water District, and Carlsbad Public Financing Authority reflecting the changed circumstances in positions and disclosure categories since the last amendment, is hereby approved with regard to city employees providing services to the City of Carlsbad. December 18, 2018 Item #1 Page 33 of 60 PASSED, APPROVED AND ADOPTED at a Joint Special Meeting of the City Council of the City of Carlsbad, Carlsbad Municipal Water District, Community Development Commission, and Public Financing Authority, and City Council as Successor Agency to the Redevelopment Agency on the 18th day of December, 2018 by the following vote, to wit: AYES: M. Hall, K. Blackburn, P. Bhat-Patel, C. Schumacher, B. Hamilton. NOES: None. ABSENT: None. (SEAL} December 18, 2018 Item #1 Page 34 of 60 REVISED APPENDIX CITY OF CARLSBAD CONFLICT OF INTEREST CODE DESIGNATED POSITIONS General Provisions Attachment A When a designated employee or individual is required to disclose investments, business positions and sources of income, he or she need only disclose investments in business entities and sources of income which do business in the City, plan to do business in the City or have done business in the City within the past two (2) years. In addition to other activities, a business entity is doing business within the City if it owns real property within the City. When a designated employee or individual is required to disclose real property he or she need only disclose that which is located in whole or in part, within or not more than two (2) miles outside the boundaries of the City or within two (2) miles of any land owned or used by the City. Designated employees or individuals shall disclose their financial interest pursuant to the appropriate disclosure category as indicated in Exhibit "A". • All designated employees required to submit an initial Statement of Interest Form 700 shall file electronically including electronic signature with the City Clerk within thirty (30) days after the effective date of this resolution. Initial filings shall cover the period of the twelve (12) months prior to the date of the adoption of this Conflict of Interest Code. • All individuals appointed, promoted, or transferred to a designated position shall file statements within thirty {30) days of assuming office. These "assuming office" statements cover the period of the twelve (12) months prior to the date of assuming office statement. • When an individual is in an "interim or acting" capacity, they are subject to the same disclosure requirements of the position in which they are filling. An assuming office would be filed. • Annual statements shall be filed with the City Clerk by April 1 of each year by all designated employees, elected officials, committee/board/commission members or individuals. Such statements shall cover the period of the preceding calendar year. • Every designated employee who leaves office shall file, within thirty (30) days of leaving office, a statement disclosing financial interests held or received at any time during the period between the closing date of the last statement required to be filed and the date of leaving office. • Any individual serving in dual roles may file a combined statement by reporting according to their broadest range of disclosure. • Failure to file the required statement in a timely fashion may result in the imposition of administrative, criminal, and civil sanctions as provided in Government Code Sections 81000-91014. Resource: Title 2, California Code of Regulations, Section 18730 Provisions of Conflict of Interest Codes. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 35 of 60 Disclosure Categories Category 1: Category 2: Category 3: Category 4: Category 5: Category 6: Category 7: Unlimited Disclosures: Disclose all business entities and non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments located in Carlsbad, including property located within a two-mile radius of any property owned or used by the City of Carlsbad. All interests in real property within the jurisdiction of the City. All investments, business positions in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, interest in real property and sources of income subject to the regulatory, permit or licensing authority of the specific City department. All investments in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, and sources of income which engage in land development, construction or the acquisition of real property, and interests in real property located in Carlsbad, including property located within a two-mile radius of any property owned or used by the City of Carlsbad. All investments in business entities, non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments, and of the type which contracts with the City to provide services, supplies, materials, machinery or equipment to any City department. All investments in business entities and sources of income of the type which contracts with the City to provide to the designated employee's department services, supplies, materials, machinery or equipment to any City department. All investments, positions in business entities, income including gifts, loans and travel payments, and income from non-profit organizations, if the sources is the type that receives grants or other monies from or through the City. 87200 Category are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 of the Political Reform Act, Government Code sections 87200, et. seq. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 36 of 60 Consultants The staff person most knowledgeable of the work that a Consultant will be performing shall designate whether or not the Consultant must file a Statement of Economic Interest by marking the appropriate box on the Agreement or Contract cover sheet. When determined that a Consultant is designated and is responsible for disclosure, they shall be required to file a Statement of Economic Interest disclosing reportable interests subject to all disclosure categories. Consultants who make (not just recommend) governmental decisions, such as whether to approve a rate, rule, or regulation, whether to issue, deny, suspend, or revoke any permit, license, application, certificate or similar authorization, adopt or grant City approval to a plan, design, report, study, or adopt or grant City approval of policies, standards, or guidelines for the City or any subdivision thereof shall be required to disclose. Consultants who act in a staff capacity with the City, and in that capacity perform the same or substantially all the same duties for the City that would otherwise be performed by an individual holding a designated position in the City's Conflict of Interest Code, shall disclose at the same level as the comparable designated position identified. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 37 of 60 Exhibit A LIST OF DESIGNATED POSITIONS AND DISCLOSURE CATEGORIES Those with the designation of 87200 Filer are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 of the Political Reform Act, Government Code sections 87200, et. seq. DESIGNATED POSITIONS DISCLOSURE CATEGORIES Mayor and City Council Members (87200 Filer) Unlimited Disclosure City Treasurer (87200 Filer) Unlimited Disclosure City Manager (87200 Filer) Unlimited Disclosure City Attorney (87200 Filer) Unlimited Disclosure Chief Operations Officer (87200 Filer) Unlimited Disclosure Housing Commission Members (87200 Filer) Unlimited Disclosure Planning Commission Members (87200 Filer) Unlimited Disclosure Director of Administrative Services (87200 Filer) Unlimited Disclosure Finance Director (87200 Filer) Unlimited Disclosure Members of the Successor Agency of the Carlsbad Redevelopment Unlimited Disclosure Agency-Includes Chairman/Members, Executive Director, Counsel, Secretary (87200 Filer) Members of the Public Financing Authority-Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary, Treasurer (87200 Filer) Members of the Community Development Commission -Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary (87200 Filer) Members of the Carlsbad Municipal Water District Board of Unlimited Disclosure Directors -Includes Board Members, Counsel, Secretary (87200 Filer) ADMINISTRATIVE SERVICES (Finance, Human Resources, Information Technology) DESIGNATED POSITIONS Assistant Finance Director Human Resources Director Information Technology Director Accountant Accounting Supervisor Assistant to the Treasurer Associate Contract Administrator Business and Analytics Manager Business Intelligence Analyst Business Systems Specialist Buyer/Contract Administrator Finance Manager Finance/Payroll/IT Manager Geographic Information Systems Manager Human Resources Manager Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,5 1,2,5 1,2,5 2,3,4,5 2,3,4,6 2, 3,7 2,3,4,5,6 1,2,3,4 2,3,4 2,3,4,5,6 2,3,4,5, 6 1,2,3,5,7 1,2,5 1,2,6,7 1,2,3,5,6,7 December 18, 2018 Item #1 Page 38 of 60 Information Technology Manager 1,2,5,6,7 Information Technology Project Manager 1,2,5,6,7 Senior Management Analyst 1,2,5,6,7 Management Analyst 1,2,6,7 Information Technology Operations Manager 1,2,5,6,7 Project Portfolio Manager 1,2,3,5,6,7 Risk Manager 1,2,3,5,6 Senior Accountant 1,2,4,5 Senior Applications Analyst 2,3,4,5,6 Senior Contract Administrator 2,3,6 Senior Network Engineer 2,3,4,5,6 Senior Program Manager 1,2,5 Senior System Administrator 2,3,4,5,6 COMMUNITY AND ECONOMIC DEVELOPMENT (Housing and Neighborhood Services) DESIGNATED POSITIONS Assistant Engineer Associate Engineer Assistant Planner Associate Planner Building Official Building Inspector 1/11 City Planner Code Enforcement Officer 1/11 Community and Economic Development Director Community Relations Manager Development Services Manager Engineering Manager Economic Development Manager Housing and Neighborhood Services Director Management Analyst Principal Planner Senior Building Inspector Senior Code Enforcement Officer Senior Engineer Senior Management Analyst Senior Planner Senior Program Manager Special Projects Manager Zoning Enforcement Officer Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 3,4 3,4 3,4 3,4 1,2,3,4 2,3,4 1,2,3,4,6 2,3 1,2,3,4,6, 7 2,4 1,2,3,4 1,2,3,4,5,6 1,2,3,4,6, 7 1,2,3,4,6,7 1,2,6,7 1,2,3,4,7 2,3,4 1,2,3,4 1,2,3,4,5,6 1,2,6,7 1,2,3,4,7 1,2,3 1,2,3,4,6, 7 1,2,3,4 December 18, 2018 Item #1 Page 39 of 60 LEGISLATIVE SERVICES DESIGNATED POSITIONS Assistant City Manager Chief Innovation Officer City Clerk City Clerk Services Manager Assistant to the City Manager Records Supervisor City Communications Manager Graphic Production Supervisor Community Relations Manager Real Estate Manager Senior Assistant City Attorney Assistant City Attorney Deputy City Attorney LIBRARY AND CULTURAL ARTS DESIGNATED POSITIONS Library and Cultural Arts Director Community Arts Coordinator Community Relations Manager Cultural Arts Manager Deputy Library Director Senior Management Analyst Associate Management Analyst Principal Librarian PARKS AND RECREATION DESIGNATED POSITIONS Parks and Recreation Director Senior Management Analyst Management Analyst Park Planning Manager Park Planner Parks/Trees Supervisor Parks Services Manager Parks Superintendent Recreation Area Manager Recreation Services Manager Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,4 1,2,3,4,5,6,7 1,2,6 1,2,6 1 2,3 1,2,3,4 2,3,4 2,3,4,6 1,2,6 1,2,3,4,5 1,2,3,4,5 1,2,3,4,5,6 DISCLOSURE CATEGORIES 1,2,6,7 2,4 2,3,4,6 1,2,4,6,7 1,2,6,7 1,2,6,7 1,2,6,7 1,6 DISCLOSURE CATEGORIES 1,2,3,4,6, 7 1,2,6,7 1,2,6,7 1,2,3,4,6 1,2,3,4,6 1,2,3 1,2,3,4,6 1,2,3,4,6 1,2,3 1,2,3,4,6 December 18, 2018 Item #1 Page 40 of 60 PUBLIC WORKS (Transportation, Utilities, Property and Environmental Management and Water District) DESIGNATED POSITIONS Public Works Director Transportation Director Utilities Director Associate Contract Administrator Associate Engineer Engineering Manager Senior Program Manager Contract Administrator Environmental Manager Environmental Specialist I/II/Senior Facilities Manager Senior Management Analyst Management Analyst Meter Services Supervisor Municipal Projects Manager Inspector 1/11 Public Works Manager Public Works Superintendent Public Works Supervisor Senior Construction Inspector Senior Contract Administrator Senior Engineer Transportation Manager Utilities Asset Manager Utilities Maintenance Planner Utilities Manager Utilities Supervisor Warehouse Technician Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,3,4,6,7 1,2,3,4,5,6, 7 1,2,3,4,6, 7 2,3,6 3,4 1,2,3,4,5,6 1,2,3,6,7 2,3,6 1,2,3,6,7 1,5,6 1,2,3,4,516 1,2,5,6,7 1,2,6,7 2,3,4 1,2,3,4 2,3,4 1,2,3,4,5,6 1,2,3,4,6 2,3,4,6 2,3,4 2,3,6 1,2,3,4,5,6 1,2,3,4,5,6 1,2,3,4,6 1,2,3,4 1,2,3,4,5,6 2,3,4 2,3,6 December 18, 2018 Item #1 Page 41 of 60 SAFETY SERVICES -FIRE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Fire Chief 1,2,3,4,6, 7 Assistant Fire Chief 1,2,3,4,6,7 Assistant Fire Marshal 2,3 Deputy Fire Marshall 2,3 Emergency Medical Services (EMS) Manager 1,2,3,4,5,6 Emergency Preparedness Manager 1,2,3,4,7 Fire Division Chief 1,2,3,5,6,7 Fire Battalion Chief 1,2,3,5,6,7 Fire Marshal 1,2,3,4,5,7 Fire Prevention Specialist 1/11 2,3,4 SAFETY SERVICES -POLICE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Police Chief 1,2,6,7 Police Captain 1,2,3,6 Police Communications Manager 2,3 Police Lieutenant 1,2,3,6 Public Safety Information Technology Manager 1,2,5,6,7 Senior Program Manager 2,3 BOARDS/COMMISSIONS/COMMITTEES (Members of Designated Appointed Positions) DESIGNATED POSITIONS Agricultural Conversion Mitigation Fee Ad Hoc Citizens Advisory Committee Arts Commission Beach Preservation Commission Board of Library Trustees Carlsbad Golf Lodging Business Improvement District Carlsbad Tourism Business Improvement District Historic Preservation Commission Parks and Recreation Commission Senior Commission Traffic Safety Commission Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 3,4 3,4,6 3,4,6 3,4,6 3,4 3,4 3,4,6 1,2,3,4,6 3,4,6 3,4 December 18, 2018 Item #1 Page 42 of 60 and RESOLUTION NO. 2018-213 A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF CARLSBAD, CALIFORNIA ACTING AS SUCCESSOR AGENCY TO THE REDEVELOPMENT AGENCY AMENDING THE LOCAL CONFLICT OF INTEREST CODE OF THE CITY OF CARLSBAD Exhibit 5 WHEREAS, the city has previously adopted and amended its Local Conflict of Interest Code; WHEREAS, provisions of the Political Reform Act of 1974 ("the Act") (Government Code Section 81000 et seq.) require an amendment to said code due to changed circumstances, changed duties or new positions; and WHEREAS, the City Council is the code reviewing body within the meaning of the Act; and WHEREAS, the City Clerk has prepared amendments to the Appendix that are required to be incorporated in said code, NOW, THEREFORE, BE IT RESOLVED by the City of Carlsbad as follows: 1. That the above recitations are true and correct. 2. That the attached revised Conflict of Interest Code Appendix (Attachment A) for the combined City Council, City Council as Successor Agency of the Redevelopment Agency, Community Development Commission, Carlsbad Municipal Water District, and Carlsbad Public Financing Authority reflecting the changed circumstances in positions and disclosure categories since the last amendment, is hereby approved with regard to city employees providing services to the City of Carlsbad. December 18, 2018 Item #1 Page 43 of 60 PASSED, APPROVED AND ADOPTED at a Joint Special Meeting of the City Council of the City of Carlsbad, Carlsbad Municipal Water District, Community Development Commission, and Public Financing Authority, and City Council as Successor Agency to the Redevelopment Agency on the 18th day of December, 2018 by the following vote, to wit: AYES: M. Hall, K. Blackburn, P. Bhat-Patel, C. Schumacher, B. Hamilton. NOES: None. ABSENT: None. MATT HA~: Mayor ATTEST: December 18, 2018 Item #1 Page 44 of 60 REVISED APPENDIX CITY OF CARLSBAD CONFLICT OF INTEREST CODE DESIGNATED POSITIONS General Provisions Attachment A When a designated employee or individual is required to disclose investments, business positions and sources of income, he or she need only disclose investments in business entities and sources of income which do business in the City, plan to do business in the City or have done business in the City within the past two (2) years. In addition to other activities, a business entity is doing business within the City if it owns real property within the City. When a designated employee or individual is required to disclose real property he or she need only disclose that which is located in whole or in part, within or not more than two (2) miles outside the boundaries of the City or within two (2) miles of any land owned or used by the City. Designated employees or individuals shall disclose their financial interest pursuant to the appropriate disclosure category as indicated in Exhibit "A". • All designated employees required to submit an initial Statement of Interest Form 700 shall file electronically including electronic signature with the City Clerk within thirty {30) days after the effective date of this resolution. Initial filings shall cover the period of the twelve (12) months prior to the date of the adoption of this Conflict of Interest Code. • All individuals appointed, promoted, or transferred to a designated position shall file statements within thirty (30) days of assuming office. These "assuming office" statements cover the period of the twelve (12) months prior to the date of assuming office statement. • When an individual is in an "interim or acting" capacity, they are subject to the same disclosure requirements ofthe position in which they are filling. An assuming office would be filed. • Annual statements shall be filed with the City Clerk by April 1 of each year by all designated employees, elected officials, committee/board/commission members or individuals. Such statements shall cover the period of the preceding calendar year. • Every designated employee who leaves office shall file, within thirty (30) days of leaving office, a statement disclosing financial interests held or received at any time during the period between the closing date of the last statement required to be filed and the date of leaving office. • Any individual serving in dual roles may file a combined statement by reporting according to their broadest range of disclosure. • Failure to file the required statement in a timely fashion may result in the imposition of administrative, criminal, and civil sanctions as provided in Government Code Sections 81000-91014. Resource: Title 2, California Code of Regulations, Section 18730 Provisions of Conflict of Interest Codes. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 45 of 60 Disclosure Categories Category 1: Category 2: Category 3: Category 4: Category 5: Category 6: Category 7: Unlimited Disclosures: Disclose all business entities and non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments located in Carlsbad, including property located within a two-mile radius of any property owned or used by the City of Carlsbad. All interests in real property within the jurisdiction of the City. All investments, business positions in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, interest in real property and sources of income subject to the regulatory, permit or licensing authority of the specific City department. All investments in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, and sources of income which engage in land development, construction or the acquisition of real property, and interests in real property located in Carlsbad, including property located within a two-mile radius of any property owned or used by the City of Carlsbad. All investments in business entities, non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments, and of the type which contracts with the City to provide services, supplies, materials, machinery or equipment to any City department. All investments in business entities and sources of income of the type which contracts with the City to provide to the designated employee's department services, supplies, materials, machinery or equipment to any City department. All investments, positions in business entities, income including gifts, loans and travel payments, and income from non-profit organizations, if the sources is the type that receives grants or other monies from or through the City. 87200 Category are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 of the Political Reform Act, Government Code sections 87200, et. seq. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 46 of 60 Consultants The staff person most knowledgeable of the work that a Consultant will be performing shall designate whether or not the Consultant must file a Statement of Economic Interest by marking the appropriate box on the Agreement or Contract cover sheet. When determined that a Consultant is designated and is responsible for disclosure, they shall be required to file a Statement of Economic Interest disclosing reportable interests subject to all disclosure categories. Consultants who make (not just recommend) governmental decisions, such as whether to approve a rate, rule, or regulation, whether to issue, deny, suspend, or revoke any permit, license, application, certificate or similar authorization, adopt or grant City approval to a plan, design, report, study, or adopt or grant City approval of policies, standards, or guidelines for the City or any subdivision thereof shall be required to disclose. Consultants who act in a staff capacity with the City, and in that capacity perform the same or substantially all the same duties for the City that would otherwise be performed by an individual holding a designated position in the City's Conflict of Interest Code, shall disclose at the same level as the comparable designated position identified. Carlsbad Local Conflict of Interest Code December 18, 2018 December 18, 2018 Item #1 Page 47 of 60 Exhibit A LIST OF DESIGNATED POSITIONS AND DISCLOSURE CATEGORIES Those with the designation of 87200 Filer are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 of the Political Reform Act, Government Code sections 87200, et. seq. DESIGNATED POSITIONS DISCLOSURE CATEGORIES Mayor and City Council Members (87200 Filer) Unlimited Disclosure City Treasurer (87200 Filer) Unlimited Disclosure City Manager (87200 Filer) Unlimited Disclosure City Attorney (87200 Filer) Unlimited Disclosure Chief Operations Officer (87200 Filer) Unlimited Disclosure Housing Commission Members (87200 Filer) Unlimited Disclosure Planning Commission Members (87200 Filer) Unlimited Disclosure Director of Administrative Services (87200 Filer) Unlimited Disclosure Finance Director (87200 Filer) Unlimited Disclosure Members of the Successor Agency of the Carlsbad Redevelopment Unlimited Disclosure Agency-Includes Chairman/Members, Executive Director, Counsel, Secretary (87200 Filer) Members of the Public Financing Authority-Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary, Treasurer (87200 Filer) Members of the Community Development Commission -Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary (87200 Filer) Members of the Carlsbad Municipal Water District Board of Unlimited Disclosure Directors -Includes Board Members, Counsel, Secretary (87200 Filer) ADMINISTRATIVE SERVICES (Finance, Human Resources, Information Technology) DESIGNATED POSITIONS Assistant Finance Director Human Resources Director Information Technology Director Accountant Accounting Supervisor Assistant to the Treasurer Associate Contract Administrator Business and Analytics Manager Business Intelligence Analyst Business Systems Specialist Buyer/Contract Administrator Finance Manager Finance/Payroll/IT Manager Geographic Information Systems Manager Human Resources Manager Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,5 1,2,5 1,2,5 2,3,4,5 2,3,4,6 2, 3,7 2,3,4,5,6 1,2,3,4 2,3,4 2,3,4,5,6 2,3,4,5, 6 1,2,3,5,7 1,2,5 1,2,6,7 1,2,3,5,6,7 December 18, 2018 Item #1 Page 48 of 60 Information Technology Manager 1,2,5,6,7 Information Technology Project Manager 1,2,5,6,7 Senior Management Analyst 1,2,5,6,7 Management Analyst 1,2,6,7 Information Technology Operations Manager 1,2,5,6,7 Project Portfolio Manager 1,2,3,5,6,7 Risk Manager 1,2,3,5,6 Senior Accountant 1,2,4,5 Senior Applications Analyst 2,3,4,5,6 Senior Contract Administrator 2,3,6 Senior Network Engineer 2,3,4,5,6 Senior Program Manager 1,2,5 Senior System Administrator 2,3,4,5,6 COMMUNITY AND ECONOMIC DEVELOPMENT (Housing and Neighborhood Services) DESIGNATED POSITIONS Assistant Engineer Associate Engineer Assistant Planner Associate Planner Building Official Building Inspector 1/11 City Planner Code Enforcement Officer 1/11 Community and Economic Development Director Community Relations Manager Development Services Manager Engineering Manager Economic Development Manager Housing and Neighborhood Services Director Management Analyst Principal Planner Senior Building Inspector Senior Code Enforcement Officer Senior Engineer Senior Management Analyst Senior Planner Senior Program Manager Special Projects Manager Zoning Enforcement Officer Carlsbad Local Conflkt of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 3,4 3,4 3,4 3,4 1,2,3,4 2,3,4 1,2,3,4,6 2,3 1,2,3,4,6, 7 2,4 1,2,3,4 1,2,3,4,5,6 1,2,3,4,6, 7 1,2,3,4,6, 7 1,2,6,7 1,2,3,4,7 2,3,4 1,2,3,4 1,2,3,4,5,6 1,2,6,7 1,2,3,4,7 1,2,3 1,2,3,4,6, 7 1,2,3,4 December 18, 2018 Item #1 Page 49 of 60 LEGISLATIVE SERVICES DESIGNATED POSITIONS Assistant City Manager Chief Innovation Officer City Clerk City Clerk Services Manager Assistant to the City Manager Records Supervisor City Communications Manager Graphic Production Supervisor Community Relations Manager Real Estate Manager Senior Assistant City Attorney Assistant City Attorney Deputy City Attorney LIBRARY AND CULTURAL ARTS DESIGNATED POSITIONS Library and Cultural Arts Director Community Arts Coordinator Community Relations Manager Cultural Arts Manager Deputy Library Director Senior Management Analyst Associate Management Analyst Principal Librarian PARKS AND RECREATION DESIGNATED POSITIONS Parks and Recreation Director Senior Management Analyst Management Analyst Park Planning Manager Park Planner Parks/Trees Supervisor Parks Services Manager Parks Superintendent Recreation Area Manager Recreation Services Manager Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,4 1,2,3,4,5,6,7 1,2,6 1,2,6 1 2,3 1,2,3,4 2,3,4 2,3,4,6 1,2,6 1,2, 3,4,5 1,2,3,4,5 1,2,3,4,5,6 DISCLOSURE CATEGORIES 1,2,6,7 2,4 2,3,4,6 1,2,4,6,7 1,2,6,7 1,2,6,7 1,2,6,7 1,6 DISCLOSURE CATEGORIES 1,2,3,4,6, 7 1,2,6,7 1,2,6,7 1,2,3,4,6 1,2,3,4,6 1,2,3 1,2,3,4,6 1,2,3,4,6 1,2,3 1,2,3,4,6 December 18, 2018 Item #1 Page 50 of 60 PUBLIC WORKS (Transportation, Utilities, Property and Environmental Management and Water District) DESIGNATED POSITIONS Public Works Director Transportation Director Utilities Director Associate Contract Administrator Associate Engineer Engineering Manager Senior Program Manager Contract Administrator Environmental Manager Environmental Specialist I/II/Senior Facilities Manager Senior Management Analyst Management Analyst Meter Services Supervisor Municipal Projects Manager Inspector 1/11 Public Works Manager Public Works Superintendent Public Works Supervisor Senior Construction Inspector Senior Contract Administrator Senior Engineer Transportation Manager Utilities Asset Manager Utilities Maintenance Planner Utilities Manager Utilities Supervisor Warehouse Technician Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 1,2,3,4,6, 7 1,2,3,4,5,6, 7 1,2,3,4,6, 7 2,3,6 3,4 1,2,3,4,5,6 1,2,3,6,7 2,3,6 1,2,3,6,7 1,5,6 1,2,3,4,5,6 1,2,5,6,7 1,2,6,7 2,3,4 1,2,3,4 2,3,4 1,2,3,4,5,6 1,2,3,4,6 2,3,4,6 2,3,4 2,3,6 1,2,3,4,5,6 1,2,3,4,5,6 1,2,3,4,6 1,2,3,4 1,2,3,4,5,6 2,3,4 2,3,6 December 18, 2018 Item #1 Page 51 of 60 SAFETY SERVICES -FIRE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Fire Chief 1,2,3,4,6, 7 Assistant Fire Chief 1,2,3,4,6, 7 Assistant Fire Marshal 2,3 Deputy Fire Marshall 2,3 Emergency Medical Services (EMS) Manager 1,2,3,4,5,6 Emergency Preparedness Manager 1,2,3,4,7 Fire Division Chief 1,2,3,5,6,7 Fire Battalion Chief 1,2,3,5,6,7 Fire Marshal 1,2,3,4,5, 7 Fire Prevention Specialist 1/11 2,3,4 SAFETY SERVICES -POLICE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Police Chief 1,2,6,7 Police Captain 1,2,3,6 Police Communications Manager 2,3 Police Lieutenant 1,2,3,6 Public Safety Information Technology Manager 1,2,5,6,7 Senior Program Manager 2,3 BOARDS/COMMISSIONS/COMMITTEES (Members of Designated Appointed Positions) DESIGNATED POSITIONS Agricultural Conversion Mitigation Fee Ad Hoc Citizens Advisory Committee Arts Commission Beach Preservation Commission Board of Library Trustees Carlsbad Golf Lodging Business Improvement District Carlsbad Tourism Business Improvement District Historic Preservation Commission Parks and Recreation Commission Senior Commission Traffic Safety Commission Carlsbad Local Conflict of Interest Code December 18, 2018 DISCLOSURE CATEGORIES 3,4 3,4,6 3,4,6 3,4,6 3,4 3,4 3,4,6 1,2,3,4,6 3,4,6 3,4 December 18, 2018 Item #1 Page 52 of 60 REVISED APPENDIX CITY OF CARLSBAD CONFLICT OF INTEREST CODE DESIGNATED POSITIONS General Provisions Exhibit 5 When a designated employee or individual is required to disclose investments, business positions and sources of income, he or she need only disclose investments in business entities and sources of income which do business in the City, plan to do business in the City or have done business in the City within the past two (2) years. In addition to other activities, a business entity is doing business within the City if it owns real property within the City. When a designated employee or individual is required to disclose real property he or she need only disclose that which is located in whole or in part, within or not more than two (2) miles outside the boundaries of the City or within two (2) miles of any land owned or used by the City. Designated employees or individuals shall disclose their financial interest pursuant to the appropriate disclosure category as indicated in Exhibit "A". • All designated employees required to submit an initial Statement of Interest Form 700 shall file electronically including electronic signature with the City Clerk within thirty {30) days after the effective date of this resolution. Initial filings shall cover the period of the twelve (12) months prior to the date of the adoption of this Conflict of Interest Code. • All individuals appointed, promoted, or transferred to a designated position shall file statements within thirty {30) days of assuming office. These "assuming office" statements cover the period of the twelve (12) months prior to the date of assuming office statement. • When an individual is in an "interim or acting" capacity, they are subject to the same disclosure requirements of the position in which they are filling. An assuming office would be filed. • Annual statements sh-all be filed with the City Clerk by April 1 of each year by all designated employees, elected officials, committee/board/commission members or individuals. Such statements shall cover the period of the preceding calendar year. • Every designated employee who leaves office shall file, within thirty (30) days of leaving office, a statement disclosing financial interests held or received at any time during the period between the closing date of the last statement required to be filed and the date of leaving office. • Any individual serving in dual roles may file a combined statement by reporting according to their broadest range of disclosure. • Failure to file the required statement in a timely fashion may result in the imposition of administrative, criminal, and civil sanctions as provided in Government Code Sections 81000-91014. Resource: Title 2, California Code of Regulations, Section 18730 Provisions of Conflict of Interest Codes. Carlsbad Local Conflict of Interest Code A1,1g1,1st 22, 2Q17December 18, 2018 December 18, 2018 Item #1 Page 53 of 60 Disclosure Categories Category 1: Category 2: Category 3: Category 4: Category 5: Category 6: Category 7: Unlimited Disclosures: Disclose all business entities and non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments located in Carlsbad, including property located within a two-mile radius of any property owned or used by the City of Carlsbad. All interests in real property within the jurisdiction of the City. All investments, business positions in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, interest in real property and sources of income subject to the regulatory, permit or licensing authority of the specific City department. All investments in business entities, non-profit organizations and sources of income, including gifts, loans and travel payments, and sources of income which engage in land development, construction or the acquisition of real property, and interests in real property located in Carlsbad, including property located within a two-mile radius of any property owned or used by the City of Carlsbad. All investments in business entities, non-profit organizations in which investments, business positions (e.g. director, officer, partner, trustee, employee or hold any position of management) and sources of income including gifts, loans and travel payments, and of the type which contracts with the City to provide services, supplies, materials, machinery or equipment to any City department. All investments in business entities and sources of income of the type which contracts with the City to provide to the designated employee's department services, supplies, materials, machinery or equipment to any City department. All investments, positions in business entities, income including gifts, loans and travel payments, and income from non-profit organizations, if the sources is the type that receives grants or other monies from or through the City. 87200 Category are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 of the Political Reform Act, Government Code sections 87200, et. seq. Carlsbad Local Conflict of Interest Code A1:1g1:1st 22, 2017December 18, 2018 December 18, 2018 Item #1 Page 54 of 60 Consultants The staff person most knowledgeable of the work that a Consultant will be performing shall designate whether or not the Consultant must file a Statement of Economic Interest by marking the appropriate box on the Agreement or Contract cover sheet. When determined that a Consultant is designated and is responsible for disclosure, they shall be required to file a Statement of Economic Interest disclosing reportable interests subject to all disclosure categories. Consultants who make (not just recommend) governmental decisions, such as whether to approve a rate, rule, or regulation, whether to issue, deny, suspend, or revoke any permit, license, application, certificate or similar authorization, adopt or grant City approval to a plan, design, report, study, or adopt or grant City approval of policies, standards, or guidelines for the City or any subdivision thereof shall be required to disclose. Consultants who act in a staff capacity with the City, and in that capacity perform the same or substantially all the same duties for the City that would otherwise be performed by an individual holding a designated position in the City's Conflict of Interest Code, shall disclose at the same level as the comparable designated position identified. Carlsbad Local Conflict of Interest Code August 22, 2917December 18, 2018 December 18, 2018 Item #1 Page 55 of 60 Exhibit A LIST OF DESIGNATED POSITIONS AND DISCLOSURE CATEGORIES Those with the designation of 87200 Fi ler are required to file full disclosure of all categories pursuant to Article 2 of Chapter 7 ofthe Political Reform Act, Government Code sections 87200, et. seq. DESIGNATED POSITIONS DISCLOSURE CATEGORIES Mayor and City Council Members (87200 Filer) Unlimited Disclosure City Treasurer {87200 Filer) Unlimited Di sclosure City Manager (87200 Filer) Unlimited Disclosure City Attorney (87200 Filer) Unlimited Disclosure Chief Innovation Officer Unlimited Disclosure Chief Operations Officer (87200 Filer) Unlimited Disclosure Housing Commission Members (87200 Filer) Unlimited Disclosure Planning Commission Members (87200 Filer) Unlimited Disclosure Director of Administrative Services (87200 Filer) Unlimited Disclosure Finance Director (87200 Filer) Unlimited Disclosure Members of the Successor Agency of the Carlsbad Redevelopment Unlimited Disclosure Agency -Includes Chairman/Members, Executive Director, Counsel, Secretary (87200 Filer) Meml3eFs ehl:!e Gi.ieFsigRt BeaFa ta tl:!e Sl:lEEesseF AgeAPt ehl:!e l:::lAlimitea Qiselesl:lFe GaFlsl3aa Reaei.1ele13meAt ,O.geAE¥ IAdl:laes Gl:!aiFmaA/Mem13ers, ~XeEl:ltii.<e QiFeEteF, Gel:lASel, SeEFetai=v {87:WQ FileF) Members of the Public Financing Authority-Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary, Treasurer (87200 Filer) Members of the Community Development Commission -Includes Unlimited Disclosure Chairman/Members, Executive Director, Counsel, Secretary (87200 Filer) Members ofthe Carlsbad Municipal Water District Board of Unlimited Disclosure Directors -Includes Board Members, Counsel, Secretary (87200 Filer) ADMINISTRATIVE SERVICES (Finance, Human Resources, Information Technology) DESIGNATED POSITIONS Assistant Finance Director Human Resources Director Information Technology Director Accountant Accounting Supervisor Assistant to the Treasurer Associate Contract Administrator Business and Analytics Manager Business Intelligence Analyst Business Systems Specialist Buyer/Contract Administrator Carlsbad Local Conflict of Interest Code August 22, W17December 18, 2018 DISCLOSURE CATEGORIES 1,2,5 1,2,5 1,2,5 2,3,4,5 2,3,4,6 2, 3,7 2,3,4,5,6 1,2,3,4 2,3,4 2,3,4,5,6 2,3,4,5, 6 December 18, 2018 Item #1 Page 56 of 60 Finance Manager 1,2,3,5,7 Finance/Payroll/IT Manager 1,2,5 Geographic Information Systems Manager 1,2,6,7 Human Resources Manager 1,2,3,5,6,7 Information Technology Manager 1,2,5,6,7 Information Technology Project Manager 1,2,5,6,7 Senior Management Analyst 1,2,5,6,7 Management Analyst 1,2,6,7 O12erations Manager 1,2,5,6J Project Portfolio Manager 1,2,3,5,6,7 Risk Manager 1,2,3,5,6 Senior Accountant 1,2,4,5 Senior Applications Analyst 2,3,4,5,6 Senior Contract Administrator 2,3,6 Senior Network Engineer 2,3,4,5,6 Senior Project Manager .h.Ll Senior Ststem Administrator 2,3,4,5,6 COMMUNITY AND ECONOMIC DEVELOPMENT (Housing and Neighborhood services) DESIGNATED POSITIONS Assistant Engineer Associate Engineer Assistant Planner Associate Planner Building Official Building Inspector 1/11 City Planner Code Enforcement Officer 1/11 Community and Economic Development Director Community Rel ations Manager Development Services Manager Engineering Manager Economic Development Manager Housing and Neighborhood Services Director M anagement Analyst Principal Planner Senior Building Inspector Senior Code Enforcement Officer Senior Engineer Senior Management Analyst Senior Planner Senior Program Manager Special Projects Manager Zoning Enforcement Officer Carlsbad Local Conflict of Interest Code August 22, 2017December 18, 2018 DISCLOSURE CATEGORIES 3,4 3,4 3,4 3,4 1,2,3,4 2,3,4 1,2,3,4,6 2,3 1,2,3,4,6, 7 2,4 1,2,3,4 1,2,3,4,5,6 1,2,3,4,6, 7 1,2,3,4,6,7 1,2,6,7 1,2,3,4,7 2,3,4 1,2,3,4 1,2,3,4,5,6 1,2,6,7 1,2,3,4,7 1,2,3 1,2,3,4,6,7 1,2,3,4 December 18, 2018 Item #1 Page 57 of 60 I . LEGISLATIVE SERVICES DESIGNATED POSITIONS Assistant City Manager City Clerk City Clerk Services Manager Assistant to the City Manager Records Supervisor City Communications Manager Graphic Production Supervisor Com munity Relations Manager Real Estate Manager Senior Assistant City Attorney Assistant City Attorney Deputy City Attorney LIBRARY AND CULTURAL ARTS DESIGNATED POSITIONS Library and Cultural Arts Director Community Arts Coordinator Communitt Relations Manager Cultural Arts Manager Deputy Library Director Senior Management Analyst / Associate Management Analyst Principal Librarian PARKS AND RECREATION - DESIGNATED POSITIONS Parks and Recreation Director Senior Management Analyst Management Analyst Park Planning Manager Park Planner Parks/Trees Supervisor Parks Services Manager Parks Su12erintendent Recreation Area Manager Carlsbad Local Conflict of Interest Code August 22, 2017December 18, 2018 DISCLOSURE CATEGORIES 1,2,4 1,2,6 1,2,6 1 2,3 1,2,3,4 2,3,4 2,3,4,6 1,2,6 1,2, 3,4,5 1,2,3,4,5 1,2,3,4,5,6 DISCLOSURE CATEGORIES 1,2,6,7 2,4 2,3,4,6 1,2,4,6,7 1,2,6,7 1,2,6,7 1,2,6,7 1,6 DISCLOSURE CATEGORIES 1,2,3,4,6, 7 1,2,6,7 1,2,6,7 1,2,3,4,6 1,2,3,4,6 1,2,3 1,2,3,4,6 1,2,3,4,6 1,2,3 December 18, 2018 Item #1 Page 58 of 60 I Recreation Services Manager 1,2,3,4,6 I PUBLIC WORKS (Transportation, Utilities, Property and Environmental Management and Water District) DESIGNATED POSITIONS Public Works Director Trans(2ortation Director Utilities Director Associate Contract Administrator Associate Engineer Engineering Manager Senior Program Manager Contract Administrator Environmental Manager Environmental Specialist I/II/Senior Facilities Manager Senior Management Analyst Management Analyst Meter Services Supervisor Municipal Projects Manager Inspector 1/11 Public Works Manager Public Works Superintendent Public Works Supervisor Senior Construction Inspector Senior Contract Administrator Senior Engineer Transportation Manager Utilities Asset Manager Utilities Maintenance Planner Utilities Manager Utilities Supervisor Warehouse Technician Carlsbad Loca l Conflict of Interest Code August 22, 2017December 18. 2018 . DISCLOSURE CATEGORIES 1,2,3,4,6, 7 1,2,3,4,5,6J 1,2,3,4,6, 7 2,3,6 3,4 1,2,3,4,5,6 1,2,3,6,7 2,3,6 1,2,3,6,7 1,5,6 1,2,3,4,5,6 1,2,5,6,7 1,2,6,7 2,3,4 1,2,3,4 2,3,4 1,2,3,4,5,6 1,2,3,4,6 2,3,4,6 2,3,4 2,3,6 1,2,3,4,5,6 1,2,3,4,5,6 1,2,3,4,6 1,2,3,4 1,2,3,4,5,6 2,3,4 2,3,6 December 18, 2018 Item #1 Page 59 of 60 SAFETY SERVICES -FIRE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Fire Chief 1,2,3,4,6, 7 Assistant Fire Chief 112131416,7 Assistant Fire M arshal 2,3 Deputy Fire Marshall 2,3 Emergency Medical Services (EMS) Manager 1,2,3,4,5,6 Emergency Preparedness Manager 1,2,3,4,7 Fire Division Chief 1,2,3,5,6,7 Fire Battalion Chief 1,2,3,5,6,7 Fire Marshal 1,2,3,4,5,7 Fire Prevention Specia list 1/11 2,3,4 SAFETY SERVICES -POLICE DESIGNATED POSITIONS DISCLOSURE CATEGORIES Police Chief 1,2,6,7 Police Captain 1,2,3,6 Police Communications Manager 2,3 Police Lieutenant 1,2,3,6 Public Safety Information Technology Manager 1,2,5,6,7 Senior Program Manager 2,3 BOARDS/COMMISSIONS/COMMITTEES (Membe~s of Designated Appointed Positions) DESIGNATED POSITIONS Agricultural Conversion Mitigation Fee Ad Hoc Citizens Advisory Committee Arts Commission Beach Preservation Commiss ion Board of Library Trustees Carlsbad Golf Lodging Business Improvement District Carlsbad Tourism Business Improvement District Historic Preservation Commission Parks and Recreation Commission Senior Commission Traffic Safety Commission Carlsbad Local Conflict of Interest Code A1,1g1,1st 22, 2017December 18, 2018 DISCLOSURE CATEGORIES 3,4 3,4,6 3,4,6 3,4,6 3,4 3,4 3,4,6 1,2,3,4,6 3,4,6 3,4 December 18, 2018 Item #1 Page 60 of 60 To the members of the: CITY COUNCIL A~-~~CA ✓ CC v Date~CMV coo ✓ -- December 17, 2018 Council Memorandum To: From: Honorable Mayor Hall and M embers of the City Council Gary T. Barberio, Assistant City Manager Via: Scott Chadwick, City Manager {city of Carlsbad Re: Responses to Questions from December 17 City Council Briefings Agenda Item No. 1-Update Local Conflict of Interest Code Question: What was t he reason for each specific change on the track changes version of the table? New positions, changes in positions, etc. Answer: • Ad,dition of Chief Innovation Officer -New Management position created by City Manager authority in Summer 2018. • Deleted Oversight Board -Board no longer exists. • Addition of Operations Manager -Should have been listed as lnformatiorl)( "j,,.. Technology Operations Manager -Position wa~ recently filled so needed to be included on Code. • Addition of Senior Contract Administrator -Position already exists under Public Works. Position now also exists in Administrative Services. • Addition of Senior Project Manager -Shou ld have been Senior Program Manager. Position already exists in Police. Position now also exists in Administrative Services. • Addition of Senior System Administrator -Position was added in May 2018 via City Council action. • Addition of Zoning Enforcement Officer -Position was added in May 2018 via City Council action. • Addition of Community Relations Manager -Position already exist s under Legislative Services. Position now also exists in Library & Cultural Arts Department. • Addition of Parks Superintendent -Position was added in May 2018 via City Council action. • Addition of Transportation Director -Position was added in November 2017 via City Counc_il action. • Addition of Associate Contract Administrator-Position is part of the Contract Administrator series and now exists in Public Works. • Add ition of Public Works Manager -Position has exist ed since 1999 and should have previously been added to the Code Updat e. City Manager's Office City Hall 1200 Carlsbad Village Drive I Ca rlsbad, CA 92008 I 760-434-2820 t Honorable Mayor Hall and Members of the City Council Dec. 18,2018 Page 2 • Addition of Assistant Fire Chief-New Management position created by City Manager Authority in summer 2018. Agenda Item No. 2 -Authorize Purchase of Replacement lasers Question: What is the number of discharges of lasers in past Calendar year? Answer: Since Jan. 1, 2018, the Police Department has had 11 deployments where suspects were shot with the darts and 7 deployments where the taser was used in the dry-stun mode (direct contact). The answer of "1-5" a week was not intended to count the number of times the taser is shot at a suspect. The number stated was intended to reflect the number of times that an officer uses the taser to gain compliance from a suspect which may be accomplished by a) shooting the taser darts at a suspect, b) using the taser in the dry-stun capacity on the suspect, c) by verbally threatening the use of the taser and pointing the taser at a suspect, and d) using the visual deterrent of the laser sight on the taser to gain compliance of the suspect. Data regarding the use of the taser in above methods c-d are not readily available. Question: How are the waste materials processed from the lasers? Answer: The expended taser cartridges used in the field are handled as evidence and logged · -· into police evidence. The tasers, upon replacement, are mailed back to the vendor as part of the buy-back plan. - Agenda Item No. 3 -JAG Grant Approval Question: Does special condition #9 only apply to programs specific to funds? Answer: Yes, special condition #9 only applies to programs specific to the fund. As the grant is a contract with the city, only the programs specific to the grant are conditioned by special condition #9. With regard to Agenda Item #3 on the Dec. 18, 2018, City Council docket, a question has come up as to one of the special conditions of the grant. Special condition #9 requires certain actions and responses in the event of an actual or imminent data breach. The question that has come up is as follows: in the event of a data breach that involves data collected by the city's license plate readers ("LPR"), does the city have a policy that requires the city to inform affected vehicle owners of the actual or imminent data breach? Special condition #9 does not require the city to inform vehicle owners within 24 hours of an actual or imminent data breach. Rather, special condition #9 requires the city, within 24 hours of an actual or imminent breach, to provide notice to the Office of Justice Programs manager. As the grant is a contract, the city's acceptance of the grant would require the city to provide that notice in the event of an actual or imminent breach. And, the city would in fact do so in the event of an actual or imminent data breach. Honorable Mayor Hall and Members of the City Council Dec.18,2018 Page 3 In the event of an actual breach of LPR data, the city would follow Civ. Code section 1798.29 and provide notice to affected vehicle owners "in the most expedient time possible and without unreasonable delay." (Id.) Any notice provided by the city would include all the information mandated by the state as detailed in Civ. Code section 1792.29{d). Agenda Item No. 7 -Annual Sister City Program Update Question: What are the sister city organization's finances? Answer: Per Council Policy No. 77 programs, relationships and finances are to be shared annually, which is the reason for the item presentation on Dec. 18, 2018. Agenda Item No. 8 -Participation in Electrify America Vehicle Charging Program Question: What is the city's current rate policy for other EVCS available for the public? Answer: Per the Staff Report (Attachment 1) and current rate policy adopted by the City Council, it is 35 cents per kilowatt hour ($0.35/kWh). An average EV gets about four miles per kWh and has a total range of 100 or more miles per full charge. - Question: Can we use other software vendors after this agreement expires in 8 years? Answer: The city can use a different EV service provider after the agreement expiration. The software in the Greenlots charging station is open protocol. Question: Can these EVCS be used for the public after the 8-year term expires? Answer: Yes. Question: How many other providers were considered? Answer: There are three subsidized EV charging programs: NRG's EVGO, SDG&E's Power Your Drive, and VW's Electrify America. The city evaluated all programs available. EVGO was used to install our public chargers at Stagecoach Park and the State Street parking lot (see Staff Report, Attachment 2). The EVGO Program did not provide the charging pedestals; the city purchased them from Chargepoint and uses Chargepoint's subscription service. The city considered Power Your Drive and recommended not participating in that program (see memo in Attachment 3). VW's Electrify America was first evaluated in Fall 2017 but the 2017 funding was fully subscribed. The program is now available for 2018. Attachments: 1. Staff Report -July 25, 2017 2. Staff Report (Agenda Bill) -July 26, 2016 3. Memo to City Council -Sept. 12, 2018 Honorable Mayor Hall and Members of the City Council Dec. 18,2018 Page 4 cc: Celia Brewer, City Attorney Elaine Lukey, Chief Operations Officer Paz Gomez, Public Works Director Neil Gallucci, Police Chief Mickey Williams, Police Captain Vicki Quiram, Utilities Director James Wood, Environmental Manager Mike Grim, Climate Action Plan Administrator Jason Haber, Assistant to the City Manager Sheila Cobian, City Clerk Services Manager